Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Lianna Marie Cook | 7712025 | 2 | 10/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Sue Berger | 4359886 | 2 | 10/13/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard McLaughlin | 1277214 | 1 | 10/08/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel P D'Arrigo | 1034478 | 4 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherry To-Nga Kim | 3066012 | 1 | 10/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Duane Robert Merchant | 2164065 | 2 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary William Britto | 1970691 | 4 | 09/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Henry Gunter Hodo Walburn | 3118405 | 1 | 09/16/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alton Graham Mills | 6705910 | 1 | 08/28/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael John Korinek | 1933873 | 2 | 08/18/2014 | Customer Dispute | Closed-No Action | $5,197.66 | $0.00 | See FINRA Report |